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Securities Firms

Risk Management at a Glance

Integrated credentialing and compliance risk management for securities firms

Leveraging Vertafore's proven track record of regulatory and technology innovation, Sircon® solutions help securities firms eliminate operational costs, better manage risk, and adhere to regulations by automating the processes essential to keeping brokers / advisors / agents both compliant and authorized to sell.

Manage disclosures, securities registrations, insurance licenses and supervision hierarchy in one secure, scalable SaaS product.

We help securities firms

Save Money

Compliance Risk

Improve the
Advisor Experience


Keep business moving forward while maintaining compliance

Effectively manage risk and significantly reduce costs with securities and insurance credentialing and compliance management solutions from Sircon.

View the Sircon® Solutions for Securities Firms Brochure

Get and keep advisors / agents authorized to sell — faster.

Sircon offers enhanced connectivity to share data between your organization, carrier partners, education providers, and regulatory stakeholders—in a highly secure, scalable environment.